Mark Griffin is a shareholder in the Memphis office of Baker Donelson. Mark represents clients in securities and financial institutions litigation matters, broker-dealer and investment adviser law and regulation and investigations and enforcement proceedings involving the SEC, FINRA and other government agencies and self-regulatory organizations. He can be reached at 
Where Firms Should Concentrate Compliance Efforts In the past few months, both the SEC and FINRA issued guidance concerning their regulatory priorities for the coming year. Both of the agency’s annual priorities letters address a large number of diverse topics. Experts from Baker Donelson discuss where the SEC's and FINRA's concerns overlap, what they have indicated their areas of focus and why it...
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